SFC Licences of LAU Yim Ling, Elaine 劉艷玲

Source: Official SFC record
Key: RE = Representative, RO = Responsible Officer, EO = Executive Officer

Institution	Role	Licences	Start date	End date
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RO	4	24 February 2021	30 September 2022
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RO	1	06 November 2020	30 September 2022
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RO	2	06 November 2020	30 September 2022
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RE	4	13 August 2020	24 February 2021
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RE	1	13 August 2020	06 November 2020
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RE	2	13 August 2020	06 November 2020
CES Commodities (HK) Limited 光證期貨（香港）有限公司	RE	2	16 July 2019	31 May 2020
Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司	RE	4	16 July 2019	31 May 2020
Everbright Securities Investment Services (HK) Limited 光大證券投資服務（香港）有限公司	RE	1	16 July 2019	31 May 2020
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RO	2	23 January 2008	04 September 2018
Southwest Securities (HK) Asset Management Limited 西證(香港)資產管理有限公司	RE	4	23 January 2008	04 September 2018
Southwest Securities (HK) Brokerage Limited 西證(香港)證券經紀有限公司	RE	1	21 March 2007	04 September 2018
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RE	2	21 March 2007	23 January 2008
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RO	2	05 June 2003	01 October 2005
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RE	2	01 April 2003	05 June 2003
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RE	5	01 April 2003	30 April 2003
Southwest Securities (HK) Futures Limited 西證(香港)期貨有限公司	RE	9	01 April 2003	30 April 2003